1 URISA DRAFT MUNICIPAL GIS CAPABILITY MATURITY MODEL QUESTIONNAIRE G. BABINSKI, GISP, KING COUNTY GIS CENTER JULY 29, 2010 Participant Identification: Name of Municipal GIS Organization: Name of Participant: Title: Participant Phone & Date of Response: Introduction GIS development life cycle: GIS development typically starts as an idea and progresses towards full maturity. However, the reality of municipal GIS operations is that development is limited by available funds. Often GIS starts as a capital project with the system designed to create the best GIS possible with the funds at hand. This development scenario leads to frequent compromise and deferral of many aspects of ideal GIS development in order to go operational quickly and start delivering value for the agency s investment. Even if a GIS implementation project is completed successfully, it does not mean that an agency has a mature GIS, or even a cost-effective GIS operation. GIS professional staff often know that their operation could benefit from enhancement and refinement but funds, staff, or time for further development are very difficult to come by. Enhancements are often developed as part of GIS operations, but rarely on a systematic basis with a desired end state in mind. What is a Capability Maturity Model? A Capability Maturity Model is defined as a tool to assess an organization s ability to accomplish a defined task or set of tasks. The concept of a capability maturity model originated with the Software Engineering Institute (SEI) as a means of assessing the capability of software contractors to complete large software design and development projects successfully. SEI published Managing the Software Process in 1989 and continues to refine the software capability maturity model. The Software CMM is process focused in that it is based on how an organization performs the individual processes that are involved in software design and development. Since the development of the SEI CMM, the capability maturity model concept has been applied in other areas, including: System engineering Project management Risk management Information technology services The typical capability maturity model is based on an assessment of the subject organization s maturity level based on the characteristics of the organization s approach to individual defined processes. These processes are usually defined as: Level 1 Ad hoc (chaotic) processes - typically in reaction to a need to get something done. Level 2 Repeatable processes typically based on recalling and repeating how the process was done the last time. Level 3 Defined process the process is written down (documented) and serves to guide consistent performance within the organization. Level 4 Managed process the documented process is measured when performed and the measurements are compiled for analysis. Changing system conditions are managed by adapting the defined process to meet the conditions.
2 QUESTIONNAIRE PAGE 2 Level 5 Optimized processes The defined and managed process is improved on an on-going basis by institutionalized process improvement planning and implementation. Optimization may be tied to quantified performance goals. GIS Maturity Assessments In 2001 Gaudet, Annulis, and Carr published the Workforce Development Model for Geospatial Technology. Although not an organizational maturity or capability assessment, it does provide a systematic approach to defining the core job functions (defined as roles) of a GIS organization and the competencies associated with each of the functions. In 2007 the States of Georgia and Texas began collaborative development of a State GIS Maturity Assessment. This assessment focuses on a number of typical state GIS program and project related components. These components fall into seven broad categories: Geospatial Coordination and Collaboration Geospatial Data Development GIS Resource Discovery and Access Statewide Partnership Programs Participation in Pertinent National Partnership Programs and Initiatives Geospatial Polices, Standards, Guidelines, and Best Practices Training, Education, and Professional Networking Activities Within these seven categories, state GIS organizations assess their development in 56 specific detailed characteristics based on their current implementation of each characteristic: 1.00 pt Fully Implemented 0.75 pt. In progress with full resources available to complete implementation 0.50 pt. In progress with partial resources available for implementation 0.25 pt. Planned with resources assigned 0.00 pt. Not planned with no resources assigned Because the State GIS Maturity Assessment seems focused on the typical coordination function of many state s GIS, it seem unsuitable for municipal GIS, with its enterprise operations focus and business end-user responsibilities. Why develop a Municipal GIS Capability Maturity Model? GIS in a municipal environment is a highly complex system. Indeed, many of the processes that have had the CMM approach applied to them in the past are themselves interdependent components of a municipal GIS. Because of this complexity, it seems useful to think about the ideal capability of a municipal GIS operation in theoretical terms and then analyze and measure individual GIS operations against this theoretical ideal state. The purpose of this proposed model is to provide a means for any municipal GIS operation to gauge its maturity against a variety of standards and/or measures, including: A theoretical ideal end state of GIS organizational development The maturity level of other peer GIS organizations, either individually or in aggregate The maturity level of the subject organization over time The maturity level of the organization against an agreed target state (perhaps set by organizational policy, budget limitations, etc.) What is meant by Municipal GIS operations? For this study municipal GIS operations refers to city or county agencies that are responsible for typical municipal government services as commonly defined in the United States. The term also implies an enterprise-wide view of GIS operations, as opposed to GIS as used within individual departments within a municipality. What is meant by maturity in relation to municipal GIS operations? Maturity for the proposed model indicates progression of an organization towards GIS capability that maximizes the potential for the use of state of the art GIS technology, commonly recognized quality data, and organizational best practices appropriate for municipal business use. The Municipal GIS Capability Maturity Model assumes two broad areas of GIS operational development: enabling capability and execution ability.
3 QUESTIONNAIRE PAGE 3 To clarify, maturity does not indicate old age. Maturity also does not necessarily mean that an organization excels at every aspect of GIS operations. Just like a mature person may have well developed athletic and math abilities, but intermediate cooking ability, and poor mechanical abilities, a mature GIS operation may excel at some of the characteristics inherent in GIS operations, but be less developed in others. However, this model assumes that there is a developmental ideal for GIS operations that any agency strives to achieve. This is similar to the classic Greek ideal of striving to excel at all of the intellectual, mechanical, and physical aspects of life. What are the characteristics of municipal GIS operations that are used to assess an agency s maturity level? As indicated above, the Municipal GIS Capability Maturity Model is based on an assessment of both enabling capability and execution ability. Briefly, enabling capability can be thought of as the technology, data, resources, and related infrastructure that can be bought, developed, or otherwise acquired to support typical municipal GIS operations. Enabling capability includes GIS management and professional staff. However the ability (execution capability) of the staff to utilize the enabling technology at its disposal is subject to a separate assessment as part of the model. The components of the GIS CMM and the assessment categories The GIS Capability Maturity Model assumes that mature agencies have more well developed enabling technology and resources, and that their processes and practices maximize the effectiveness of their GIS infrastructure. Enabling capability includes technology components, data, professional GIS staff, an appropriate organizational structure, and other resources and infrastructure. Execution ability is the ability of the staff to maximize the use of the available capability, relative to a normative ideal. In the following GIS CMM questionnaire, the questions are categorized by enabling capability and execution ability. For each question, the respondent is asked to self assess their organization and provide comments. The enabling capability assessment scale is modeled after the State GIS Maturity Assessment. Because GIS enabling capability to some degree is dependent on resource availability, the State GIS Maturity Assessment Scale (with its resource-commitment focus) is well suited to indicating capability. The execution ability assessment scale is modeled after the typical CMM process-based five-level scale. Because the execution ability of a mature GIS organization depends on how well it performs in key process areas, the typical CMM assessment scale (with its focus on process execution sophistication) is well suited to indicating ability. The GIS CMM Questionnaire and the assessment process Once agencies complete the questionnaire, they will have a benchmark resource for future self assessments. Once the questionnaires are compiled and analyzed, the analysis will provide information for each agency to compare itself with. This analysis information will be provided to each agency that participates in the study. It will also be presented in aggregate at professional meeting and in papers. References Capability Maturity Model, Wikepedia Article: Accessed 8/3/2009). Selena Rezvani, M.S.W., An Introduction to Organizational Maturity Assessment: Measuring Organizational Capabilities, International Public Management Association Assessment Council, ND. Jerry Simonoff, Director, IT Investment & Enterprise Solutions, Improving IT investment Management in the Commonwealth, Virginia Information Technology Agency, Curtis, B., Hefley, W. E., and Miller, S. A.; People Capability Maturity Model (P-CMM), Software Engineering Institute, Niessinka, F., Clerca, V., Tijdinka, T., and van Vlietb, H., The IT Service Capability Maturity Model, CIBIT Consultants Educators, 2005 Ford-Bey, M., PA Consulting Group, Proving the Business Benefits of GeoWeb Initiatives: An ROI-Driven Approach, GeoWeb Conference, 2008.
4 QUESTIONNAIRE PAGE 4 Niessink, F. and van Vliet, H., Towards Mature IT Services, Faculty of Mathematics and Computer Science, Vrije Universiteit Amsterdam, ND. Gaudet, C., Annulis, H., and Carr, J., Workforce Development Models for Geospatial Technology, University of Southern Mississippi, 2001.
5 QUESTIONNAIRE PAGE 5 Name of Municipal GIS Organization: GIS Capability Maturity Model Score Card Enabling Capability Components For each question in the Enabling Capability section, read the brief description. Check the implementation category that best describes your agency s current status. Feel free to include any clarifying comments or questions. 1. Framework GIS Data The agency has access to adequate framework GIS data to meet its business needs. For the GISCMM, framework data is defined as NSDI framework layers (see: 2. Framework GIS Data Maintenance Data stewards are defined for each framework GIS data layer and the data is maintained (kept up to date) to meet business needs. 3. Business GIS Data The agency has access to adequate business data (non-framework GIS data) to meet its business needs. 4. Business GIS Data Maintenance Data stewards are defined for each business GIS data layer and the data is maintained (kept up to date) to meet business needs.
6 QUESTIONNAIRE PAGE 6 5. Metadata Metadata is available and maintained for all framework and business data layers. 6. Spatial Data Warehouse A spatial data warehouse is available for stewards to compile framework and business data and for GIS users to access data for GIS applications. 7. Architectural Design An architectural design exists that defines the current state and planned future development of the technical infrastructure. The architectural design guides the investment in GIS technical infrastructure. 8. Technical Infrastructure The technical infrastructure is in place to maintain and operate the GIS. Technical infrastructure includes hardware (servers, storage, desktops, input and output peripherals), network components, operating system, and GIS software. 9. Replacement Plan A plan is in place and implemented to replace technical infrastructure components (hardware, network components, imagery) that have a defined end of useful life.
7 QUESTIONNAIRE PAGE GIS Software Maintenance Commercial GIS software is available to meet business needs and is under maintenance to ensure long term support and development. If open-source GIS software is used, an alternate support and development capability is available. 11. Data back-up and security A computer back-up system is in place to ensure the security of GIS data and applications. The backup system is tested periodically by tests to restore sample data. System security is in place to control internal and external access to GIS data and applications as appropriate. 12. GIS Application Portfolio A portfolio of custom or commercial off-the-shelf GIS applications is available to meet the business needs of GIS clients. 13. GIS Application Portfolio Management The agency s GIS application portfolio is managed to a common design and development framework. 14. GIS Application Portfolio O&M The agency s GIS application portfolio is kept viable via ongoing support and application maintenance.
8 QUESTIONNAIRE PAGE Professional GIS Management The agency GIS is managed by a dedicated, professional GIS manager. 16. Professional GIS Operations Staff The agency GIS is operated and maintained by an adequate staff of GIS professionals. (For purposes of the GISCMM, adequate operational staffing is defined as meeting the roles defined by the Geospatial Technology Competency Model see: - table 4). 17. GIS Staff Training and Professional Development The agency GIS manager and other professional staff have access to on-going training to maintain and develop their technical and operational knowledge, skills, and abilities. 18. GIS Governance Structure The agency has a formal GIS governance structure that links the GIS operation both to users (typically via a GIS technical committee or user committee) and to key decision makers (typically via an oversight committee). 19. GIS is Linked to Agency Strategic Goals The GIS exists as a defined organizational unit of the agency with a clearly defined role in supporting the strategic goals.
9 QUESTIONNAIRE PAGE GIS Budget The GIS unit develops a comprehensive budget that includes (at a minimum) labor, hardware, software, data, consulting, and training costs. 21. GIS Funding The GIS unit has dedicated funding for (at a minimum) labor, hardware, software, data, consulting, and training costs. 22. GIS Financial Plan The GIS unit has a financial plan that includes a funding model (where the money is coming from) and that also projects future episodic costs for equipment and imagery replacement.
10 QUESTIONNAIRE PAGE 10 Execution Ability Components For each question in the Execution Ability section, read the brief question and description. Check the implementation category that best describes your agency s current status. Feel free to include any clarifying comments or questions. 1. Client Services Evaluation and Development How does the GIS unit evaluate agency business needs for GIS services and develop new client service requests? 2. Service Delivery Tracking and Oversight How does the GIS unit track, monitor, and evaluate client service delivery? 3. Service Quality Assurance How does the GIS unit ensure the quality of services provided to clients? 4. Application Development Methodology How does the GIS unit develop custom GIS applications? 5. Project Management Methodology How does the GIS unit manage projects for which it is responsible? Projects could be either executed in-house or by an outside contractor.
11 QUESTIONNAIRE PAGE Quality Assurance and Quality Control How does the GIS unit assure a reasonable and appropriate level of quality for projects and for ongoing GIS system operation? System operations include database maintenance and spatial data warehouse processes. 7. GIS System Management How does the GIS unit manage the core GIS systems that it is responsible for? GIS system management includes system administration, database administration, network administration, system security, data backup, security, and restore processes, etc. 8. Process Event Management How does the GIS unit manage GIS system process events? Typical process events include planned hardware and software upgrades, unplanned hardware failure and data loss and restore events. 9. User Support, Help Desk, and End-User Training How does the GIS unit support end users, including user guides, help documentation, training, and ad-hoc helpdesk and/or on-site support? 10. Contract and Supplier Management How does the GIS unit manage its purchasing and contracting processes to ensure the best value for the supplies and services that it acquires?
12 QUESTIONNAIRE PAGE Regional Collaboration How does the GIS unit manage regional collaboration to ensure that opportunities to share in the development and operation of data, infrastructure, and applications are pursued, and that the agency s GIS is leveraged to benefit other potential local partners? 12. Staff Development How does the GIS unit manage the process of developing its staff to ensure that individual staff member skills are developed appropriate to current and emerging technical and business needs? How does the GIS unit ensure that its staff resources meet its operational requirements for individual GIS competencies, including backup and succession planning? 13. Performance Management How does the GIS unit manage performance, including both individual performance and the performance of the GIS unit as a whole? Please provide any final general comments here: Thank you for participating in this survey. W:\gb\URISA\MuniGISCMM\URISA-MuniGISCMM-Draft-Questionairre.doc July 29, 2010